DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

H•••• N••• G••••••

L•• F•••••••• L••BD affiliatedDanbury, Ct dual registrantIAPD 2059946

Feed of 09/15/2026

Also filed as H•••• N••• G••••••

At current firm

3 y

since Feb 23, 2023

In the industry

22 y

since Mar 1, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Feb 23, 2023 · Somers, Ct
C••••••• S••••••••• I••• BD affiliated
Jan 3, 2020 to Feb 21, 2023 · Bridgeport, Ct
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 28, 2011 to Oct 11, 2019 · Scarsdale, Ny
T• A••••••••• I••• former
Apr 28, 2011 to Oct 11, 2019 · Scarsdale, Ny
E••••• J•••• national BD
Nov 30, 2009 to Apr 19, 2011 · St Louis, Mo
F••••• I••••••••• independent RIA
Mar 26, 2004 to Oct 7, 2009 · Stamford, Ct

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to L•• F•••••••• L••
left Feb 21, 2023, registered Feb 23, 2023 (2 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Oct 11, 2019, registered Apr 28, 2011 (-3088 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to C••••••• S••••••••• I•••
left Oct 11, 2019, registered Jan 3, 2020 (84 days) · Other
E••••• J•••• to T• A••••••••• I••••••••• M••••••••• L••
left Apr 19, 2011, registered Apr 28, 2011 (9 days) · Other
F••••• I••••••••• to E••••• J••••
left Oct 7, 2009, registered Nov 30, 2009 (54 days) · Other

Signals

H•••• N••• G•••••• left C••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-02-23)
Feb 21, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address